Stinson Leonard Street Dodd Frank

MAKING SENSE OF DODD-FRANK

The Dodd-Frank Act has broad and deep implications that will touch every corner of financial services and multiple other industries. This site, developed and maintained by attorneys at Stinson Leonard Street, is dedicated to making sense of this complex legislation and helping businesses understand how it will affect them specifically. Our Bloggers »

Latest Dodd-Frank Posts

NYSE Proposes to Clarify Proxy Solicitation Mechanics

Public Companies and Securities, Uncategorized The NYSE proposes to amend Section 402.05 of the Listed Company Manual to clarify that listed companies soliciting proxy material through brokers or other entities must comply with SEC Rule 14a-13. Rule 14a-13 mandates that listed companies must inquire of the record holder whether other persons are beneficial owners of the subject shares and, if […] Read more →

by   |   February 14, 2015

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Bad Actor Disqualifications Are Not Sanction Enhancements

Litigation, Public Companies and Securities SEC Commissioner Daniel M. Gallagher delivered a speech where he considered the role of bad actor disqualifications in the context of the SEC’s enforcement initiatives. ... Read more →

by   |   February 14, 2015

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ISS Publishes Industry Group US TSR Medians

Public Companies and Securities ISS has published Industry Group US TSR Medians for Performance-Related Policies.  The publication was solely for informational purposes. Company performance relative to industry... Read more →

by   |   February 12, 2015

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Asset Manager Hedging Results Fined for Failing to Register as a Commodity Trading Advisor

Broker-Dealer, Energy On January 16, 2015, the Commodity Futures Trading Commission (CFTC) fined an asset manager, using financial instruments to hedge its clients’ risk, for failing to register as a... Read more →

by   |   February 12, 2015